GS
Guggenheim SecuritiesNew York City, NYInternship
Registration Compliance Intern
Guggenheim Securities seeks a Registration Compliance Intern for summer in New York. The role supports compliance with legal and regulatory standards, focusing on registration and regulatory requirements for Broker-Dealer Associated Persons.
1
Responsibilities
- Assist with registration and regulatory requirements including fingerprinting and Form U4 filings.
- Coordinate regulatory pre-hire/on-boarding and off-boarding processes with Compliance and HR.
- Manage document transfers to record retention site.
- Support ad hoc compliance projects.
2
Preferred Qualifications
- Proficient in MS Word, PowerPoint, Excel, and Outlook.
- Able to organize and present data in spreadsheets and tables.
- Strong writing and research skills.
- Ability to work professionally with various teams.
- Self-starter with excellent organizational and communication skills.
3
Basic Qualifications
- Currently seeking a college degree in business.
4
Work Location
- Role based in New York office, expected onsite at least 4 days per week.